20 January 2022
The SEC is signaling increased oversight, noting the potential conflict between the firm’s desire to increase trades, and thereby increase revenue, by inducing investors to trade more frequently, said Jean Sullivan, head of wealth management at Celent. “The overall increase in trading apps and transactions is a definite concern,” she said.
News article details
Industry
Wealth Management
Media Type
News Articles
Geographic Focus
EMEA, North America